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Join the Securities Litigation and Enforcement Group on LinkedInMark Cuban Beats The SEC – Forbes
But in maintaining that their client did nothing wrong, Cuban’s defense team said that he never agreed to confidentiality or to avoid selling his stock upon learning of the placement from Mamma.com chief Guy Faure, who claims that Cuban did make such an assurance. The jury agreed, determining by Wednesday afternoon that Cuban did not […]
SEC Enforcement Lawyer Confirmed to be Youngest Federal Judge in U.S. – Compliance Week
The government shutdown did not stop the U.S. Senate from confirming SEC Enforcement attorney Andrea R. Wood on Tuesday to be a judge on the U.S. District Court for the Northern District of Illinois. Wood, presently a Senior Trial Counsel, will at age 40 become the youngest federal court judge in the U.S. when she […]
Securities Docket News Wire for October 15, 2013
Get caught up with the Securities Docket News Wire for October 15, 2013.
Ex-Commissioner Calls on SEC to Focus Enforcement Attention on Culpability, Harm – Bloomberg Law
Former Securities and Exchange Commissioner Troy Paredes Oct. 9 urged the agency to focus its enforcement attention on activities involving the most culpable individuals and firms, and the most harm to investors. “In my view, it is particularly important that” the SEC base its enforcement decisions on the facts, the law and due process considerations, […]